Chief Compliance Officer (CCO)
About this role
Job title: Chief Compliance Officer (CCO)
About the Role The Chief Compliance Officer (CCO) will lead and oversee Moment's compliance programs for our RIA and Broker-Dealer entities. As a senior member of the team, you’ll interact with regulators on behalf of both entities, and partner daily with founders, legal, product, engineering, trading, and portfolio management.
What You'll Do
- Expand and own the RIA and BD compliance programs end to end: own written policies and supervisory procedures, Code of Ethics, registration and licensing, regulatory filings, marketing and advertising review, best execution, net capital, books and records, and the annual compliance review.
- Monitor the effectiveness of established compliance processes and controls across the businesses, and recommend and implement enhancements.
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